SEC Form 4 · accession 0001437749-17-014921
Freshpet, Inc. · FRPT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard A Kassar
Officer — Chief Financial Officer
Period of report
Aug 14, 2017
Accepted (ET)
Aug 16, 2017 · 6:42 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001611647
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Aug 14, 2017 | M | 8,977 | $8.87 | A | 208,971 | D | |
| Common Stock | Aug 14, 2017 | S | 8,977 | $16.00 | D | 199,994 | D | |
| Common Stock | Aug 15, 2017 | M | 200 | $8.87 | A | 200,194 | D | |
| Common Stock | Aug 15, 2017 | S | 200 | $16.00 | D | 199,994 | D | |
| Common Stock | Aug 16, 2017 | M | 14,062 | $8.87 | A | 214,056 | D | |
| Common StockF1 | Aug 16, 2017 | S | 14,062 | $16.0056 | D | 199,994 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option to Purchase Common StockF2 | $8.87 | Aug 14, 2017 | M | 8,977 | A | — | Feb 28, 2020 | Common Stock | 8,977 | 14,699 | D |
| Option to Purchase Common StockF2 | $8.87 | Aug 15, 2017 | M | 200 | A | — | Feb 28, 2020 | Common Stock | 200 | 14,499 | D |
| Option to Purchase Common StockF2 | $8.87 | Aug 16, 2017 | M | 14,062 | A | — | Feb 28, 2020 | Common Stock | 14,062 | 437 | D |
Explanation of responses
- F1The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.00 to $16.025. The reporting person undertakes to provide to Freshpet, Inc., any security holders of Freshpet, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each price within the range set in this Form 4.
- F2The option vests in five equal annual installments beginning March 31, 2011.